Search for: "US Securities and Exchange Commission"
Results 521 - 540
of 14,206
Sort by Relevance
|
Sort by Date
4 Jan 2024, 9:05 pm
Chair of the Securities and Exchange Commission (SEC) Gary Gensler stated that: ─ Securities laws and SEC authority “may be implicated depending upon how AI technology is used” (available here). ─ AI “may heighten financial fragility, as it could promote herding[,] encourage monocultures [and] exacerbate the inherent network interconnectedness of the global financial system. [read post]
4 Jan 2024, 9:05 pm
Securities and Exchange Commission and the Commodity Futures Trading Commission may need to expand to encompass broader regulatory authority over cryptocurrency trading. [read post]
4 Jan 2024, 1:58 pm
Pix credit here DUKE. [read post]
4 Jan 2024, 12:10 pm
”According to FINRA, this matter reportedly originated from an Investor Complaint Form submitted to FINRA referencing Securities and Exchange Commission v. [read post]
4 Jan 2024, 12:09 pm
Attorney General determines that public disclosure would be a substantial threat to national security or public safety, the Securities and Exchange Commission (SEC) requires that public companies must report a cyber incident, typically by filing a publicly available Form 8-K, within: a. [read post]
3 Jan 2024, 9:05 pm
The media, financial analysts, and regulatory bodies, including the Securities and Exchange Commission (SEC), have expressed reservations about the trend. [read post]
3 Jan 2024, 7:54 am
Securities & Exchange Commission v. [read post]
2 Jan 2024, 9:01 pm
Securities and Exchange Commission (SEC) adopted final rules in 2023 that are intended to enhance and standardize disclosures regarding cybersecurity risk management, strategy, governance and incident reporting by public companies (including foreign private issuers). [read post]
2 Jan 2024, 11:26 am
Working under the supervision of the Securities Exchange Commission, FINRA: Writes and enforces rules governing the ethical activities of all registered broker-dealer firms and registered brokers in the U.S. [read post]
2 Jan 2024, 5:50 am
After all, prior presidents also used the pardon power in controversial ways. [read post]
2 Jan 2024, 4:57 am
The two cases involve challenges to the funding mechanism for the Consumer Financial Protection Bureau and to the administrative enforcement proceedings before the Securities and Exchange Commission. [read post]
1 Jan 2024, 9:01 pm
Securities and Exchange Commission to investigate and bring civil enforcement actions against foreign officials for seeking or accepting a bribe. [read post]
1 Jan 2024, 2:29 pm
PYLSX is required to disclose the MLC as a Control Person in its fundraising materials to the Securities and Exchange Commission (Form N-1A Registration Statement filed February 28, 2023). [read post]
1 Jan 2024, 6:19 am
Securities and Exchange Commission considers them to be securities. [read post]
28 Dec 2023, 9:05 pm
Over 3.7 million patients have used Mifepristone, according to FDA. [read post]
27 Dec 2023, 6:09 pm
FINRA, the regulator that oversees brokers and brokerage firms, and the Securities and Exchange Commission may impose regulatory actions against a broker-dealer such as censures, fines, suspensions and restitution, among others. [read post]
27 Dec 2023, 1:36 pm
The Securities and Exchange Commission has reached the implementation dates for its cyber incident reporting requirements. [read post]
27 Dec 2023, 1:16 pm
In July 2023, the Securities and Exchange Commission (“SEC”) proposed rules “that would require broker-dealers and investment advisers (“Firm”) to take certain measures to address conflicts of interest associated with their use of predicative data analytics and similar technologies to interact with investors to prevent firms form placing their interest ahead of investors’ interests. [read post]
22 Dec 2023, 6:00 am
Court of Appeals for the Third Circuit to order the Securities and Exchange Commission to write rules governing the treatment of crypto assets as securities. [read post]
22 Dec 2023, 4:31 am
The high-profile national security trial continues. [read post]
